Last 12 months
Inside the activity.
0 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 31, 2019 Filed Jan 3, 2020 21:41 UTC |
Huang JamesDirector · 10% owner
|
PurchaseCommon Stock | 15,442 | $4.05 | $62,524.66 |
DisclosureSEC source: 0001437749-20-000169 · rdgdoc.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,442 F1 · price: The shares were purchased in multiple trades at prices ranging from $3.81 to $4.99. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| December 30, 2019 Filed Dec 31, 2019 21:08 UTC |
Huang JamesDirector · 10% owner
|
PurchaseCommon Stock | 909 | $3.81 | $3,463.29 |
DisclosureSEC source: 0001437749-19-025048 · rdgdoc.xml · nonDerivative · entry 2 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Read SEC document |
| December 27, 2019 Filed Dec 31, 2019 21:08 UTC |
Huang JamesDirector · 10% owner
|
PurchaseCommon Stock | 4,091 | $3.73 | $15,260.66 |
DisclosureSEC source: 0001437749-19-025048 · rdgdoc.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,091 F1 · price: The shares were purchased in multiple trades at prices ranging from $3.55 to $4.00. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| December 06, 2019 Filed Dec 11, 2019 00:55 UTC |
LPH II Investments Ltd10% owner
|
PurchaseSeries I Warrants · Derivative | 827,815 | $0.00 Strike: $4.03 | $0.00 |
DisclosureSEC source: 0001213900-19-025802 · ownership.xml · derivative · entry 2 LPH II Investments Ltd · CIK 0001737494 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 827,815 Underlying: Common Stock · 827,815 shares Expires 2024-12-05 F1 · balance_after: Effective December 6, 2019 the Issuer entered into a Securities Purchase Agreement (the "SPA") with certain investors whereby the Reporting Person subscribed for and purchased 1,655,629 shares of Common Stock of the Issuer. Pursuant to the SPA, the Issuer issued and the Reporting Person received: (i) 1,655,629 shares of Common Stock; and (ii) 827,815 Series I Warrants to purchase 827,815 shares of Common Stock at an exercise price of $4.03 per share. Read SEC document |
| December 06, 2019 Filed Dec 11, 2019 00:55 UTC |
LPH II Investments Ltd10% owner
|
PurchaseCommon Stock | 1,655,629 | $3.02 | $4,999,999.58 |
DisclosureSEC source: 0001213900-19-025802 · ownership.xml · nonDerivative · entry 1 LPH II Investments Ltd · CIK 0001737494 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,008,234 F1 · balance_after: Effective December 6, 2019 the Issuer entered into a Securities Purchase Agreement (the "SPA") with certain investors whereby the Reporting Person subscribed for and purchased 1,655,629 shares of Common Stock of the Issuer. Pursuant to the SPA, the Issuer issued and the Reporting Person received: (i) 1,655,629 shares of Common Stock; and (ii) 827,815 Series I Warrants to purchase 827,815 shares of Common Stock at an exercise price of $4.03 per share. Read SEC document |
| December 06, 2019 Filed Dec 11, 2019 00:54 UTC |
Lee's Pharmaceutical Holdings Ltd10% owner
|
PurchaseSeries I Warrants · Derivative | 827,815 | $0.00 Strike: $4.03 | $0.00 |
DisclosureSEC source: 0001213900-19-025800 · ownership.xml · derivative · entry 2 Lee's Pharmaceutical Holdings Ltd · CIK 0001722778 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 827,815 Underlying: Common Stock · 827,815 shares Expires 2024-12-05 F1 · balance_after: Effective December 6, 2019 the Issuer entered into a Securities Purchase Agreement (the "SPA") with certain investors whereby LPH II Investments Limited ("LPH II"), a wholly owned subsidiary of the Reporting Person, subscribed for and purchased 1,655,629 shares of Common Stock of the Issuer. Pursuant to the SPA, the Issuer issued and LPH II received: (i) 1,655,629 shares of Common Stock; and (ii) 827,815 Series I Warrants to purchase 827,815 shares of Common Stock at an exercise price of $4.03 per share. Read SEC document |
| December 06, 2019 Filed Dec 11, 2019 00:54 UTC |
Lee's Pharmaceutical Holdings Ltd10% owner
|
PurchaseCommon Stock | 1,655,629 | $3.02 | $4,999,999.58 |
DisclosureSEC source: 0001213900-19-025800 · ownership.xml · nonDerivative · entry 1 Lee's Pharmaceutical Holdings Ltd · CIK 0001722778 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 14,450,599 F1 · balance_after: Effective December 6, 2019 the Issuer entered into a Securities Purchase Agreement (the "SPA") with certain investors whereby LPH II Investments Limited ("LPH II"), a wholly owned subsidiary of the Reporting Person, subscribed for and purchased 1,655,629 shares of Common Stock of the Issuer. Pursuant to the SPA, the Issuer issued and LPH II received: (i) 1,655,629 shares of Common Stock; and (ii) 827,815 Series I Warrants to purchase 827,815 shares of Common Stock at an exercise price of $4.03 per share. Read SEC document |
| December 06, 2019 Filed Dec 10, 2019 21:36 UTC |
Huang JamesDirector · 10% owner
|
PurchaseSeries I Warrants · Derivative | 827,815 | $0.00 Strike: $4.03 | $0.00 |
DisclosureSEC source: 0001437749-19-024141 · rdgdoc.xml · derivative · entry 3 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Via Panacea Venture Healthcare Fund I L.P Disclosed balance after: 827,815 Underlying: Common Stock · 827,815 shares Expires 2024-12-06 F3 · price: Issued in connection with the purchase of shares of common stock on December 6, 2019 as reported above. F1 · ownership.nature: The Reporting Person is Director of Panacea Venture Healthcare Fund GP I L.P. The Reporting Person disclaims beneficial ownership of the shares held by Panacea Venture Healthcare Fund I L.P., except to the extent of his pecuniary interest therein. Read SEC document |
| December 06, 2019 Filed Dec 10, 2019 21:36 UTC |
Huang JamesDirector · 10% owner
|
GrantCommon Stock | 96,429 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-024141 · rdgdoc.xml · nonDerivative · entry 2 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Via Rui Jin (HK) Consulting Management Company Limited Disclosed balance after: 210,844 F2 · kind: Issued in connection with a Placement Agency Agreement for the Company's offering of common stock and warrants on December 6, 2019. The Reporting Person is a Director of Rui Jin (HK) Consulting Management Company Limited. F2 · price: Issued in connection with a Placement Agency Agreement for the Company's offering of common stock and warrants on December 6, 2019. The Reporting Person is a Director of Rui Jin (HK) Consulting Management Company Limited. Read SEC document |
| December 06, 2019 Filed Dec 10, 2019 21:36 UTC |
Huang JamesDirector · 10% owner
|
PurchaseCommon Stock | 1,655,629 | $3.02 | $4,999,999.58 |
DisclosureSEC source: 0001437749-19-024141 · rdgdoc.xml · nonDerivative · entry 1 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Via Panacea Venture Healthcare Fund I L.P. Disclosed balance after: 6,182,974 F1 · ownership.nature: The Reporting Person is Director of Panacea Venture Healthcare Fund GP I L.P. The Reporting Person disclaims beneficial ownership of the shares held by Panacea Venture Healthcare Fund I L.P., except to the extent of his pecuniary interest therein. Read SEC document |
| June 28, 2019 Filed Jul 2, 2019 22:09 UTC |
Joseph Mahady MDirector
|
GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $4.60 | $0.00 |
DisclosureSEC source: 0001437749-19-013409 · rdgdoc.xml · derivative · entry 2 Joseph Mahady M · CIK 0001187302 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2029-06-28 F1 · derivative.exercise_date: Stock option shall fully vest upon the first anniversary of the grant date or as provided under the Award Agreement and 2011 Plan. Read SEC document |
| June 28, 2019 Filed Jul 2, 2019 22:10 UTC |
PEACOCK BRUCEDirector
|
GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $4.60 | $0.00 |
DisclosureSEC source: 0001437749-19-013410 · rdgdoc.xml · derivative · entry 2 PEACOCK BRUCE · CIK 0001228459 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2029-06-28 F1 · derivative.exercise_date: Stock option shall fully vest upon the first anniversary of the grant date or as provided under the Award Agreement and 2011 Plan. Read SEC document |
| June 28, 2019 Filed Jul 2, 2019 22:09 UTC |
Leone John RDirector
|
GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $4.60 | $0.00 |
DisclosureSEC source: 0001437749-19-013408 · rdgdoc.xml · derivative · entry 2 Leone John R · CIK 0001301047 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2029-06-28 F1 · derivative.exercise_date: Stock option shall fully vest upon the first anniversary of the grant date or as provided under the Award Agreement and 2011 Plan. Read SEC document |
| April 24, 2019 Filed Apr 26, 2019 21:36 UTC |
Schreiber Brian DDirector
|
GrantNon-Qualified Stock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $4.32 | $0.00 |
DisclosureSEC source: 0001437749-19-008086 · rdgdoc.xml · derivative · entry 1 Schreiber Brian D · CIK 0001762945 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2029-04-24 F1 · derivative.exercise_date: This stock option shall vest in a series of three successive, equal installments measured from the date of Dr. Schreiber's appointment to the Board of Directors on December 21, 2018. Read SEC document |
| April 24, 2019 Filed Apr 26, 2019 21:35 UTC |
Huang JamesDirector · 10% owner
|
GrantNon-Qualified Stock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $4.32 | $0.00 |
DisclosureSEC source: 0001437749-19-008084 · rdgdoc.xml · derivative · entry 3 Huang James · CIK 0001573160 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2029-04-24 F2 · derivative.exercise_date: This stock option shall vest in a series of three successive, equal installments measured from the date of Mr. Huang's appointment to the Board of Directors on December 21, 2018. Read SEC document |
| April 24, 2019 Filed Apr 26, 2019 21:34 UTC |
Geffken Daniel E.Director
|
GrantNon-Qualified Stock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $4.32 | $0.00 |
DisclosureSEC source: 0001437749-19-008083 · rdgdoc.xml · derivative · entry 1 Geffken Daniel E. · CIK 0001314756 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,000 Underlying: Common Stock · 60,000 shares Expires 2029-04-24 F1 · derivative.exercise_date: This stock option shall vest in a series of three successive, annual installments beginning with the first anniversary of the grant date. Read SEC document |
| March 19, 2019 Filed Mar 21, 2019 20:37 UTC |
Templeton Mary B EsqSVP, Gen Counsel & Corp Sec
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $4.30 | $0.00 |
DisclosureSEC source: 0001437749-19-005432 · rdgdoc.xml · derivative · entry 3 Templeton Mary B Esq · CIK 0001530067 · SVP, Gen Counsel & Corp Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2029-03-19 F2 · derivative.exercise_date: This employee stock option shall vest in a series of three successive, equal installments beginning with the first anniversary of the grant. Read SEC document |
| March 19, 2019 Filed Mar 21, 2019 20:36 UTC |
Tattory John ASVP & CFO
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $4.30 | $0.00 |
DisclosureSEC source: 0001437749-19-005430 · rdgdoc.xml · derivative · entry 3 Tattory John A · CIK 0001499834 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2029-03-19 F2 · derivative.exercise_date: This employee stock option shall vest in a series of three successive, equal installments beginning with the first anniversary of the grant. Read SEC document |
| March 19, 2019 Filed Mar 21, 2019 20:35 UTC |
Simonson StevenSVP, Chief Medical Officer
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 50,000 | $0.00 Strike: $4.30 | $0.00 |
DisclosureSEC source: 0001437749-19-005429 · rdgdoc.xml · derivative · entry 3 Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2029-03-19 F2 · derivative.exercise_date: This employee stock option shall vest in a series of three successive, equal installments beginning with the first anniversary of the grant. Read SEC document |
| March 19, 2019 Filed Mar 21, 2019 20:34 UTC |
Fraser CraigDirector · President and CEO
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $4.30 | $0.00 |
DisclosureSEC source: 0001437749-19-005428 · rdgdoc.xml · derivative · entry 3 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2029-03-19 F2 · derivative.exercise_date: This employee stock option shall vest in a series of three successive, equal installments beginning with the first anniversary of the grant. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 22:04 UTC |
Fraser CraigDirector · President and CEO
|
Tax withholdingCommon Stock | 20,641 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-005304 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,490 Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 22:07 UTC |
Tattory John ASVP & CFO
|
Tax withholdingCommon Stock | 10,281 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-005306 · rdgdoc.xml · nonDerivative · entry 1 Tattory John A · CIK 0001499834 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,922 Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 22:06 UTC |
Simonson StevenSVP, Chief Medical Officer
|
Tax withholdingCommon Stock | 9,824 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-005305 · rdgdoc.xml · nonDerivative · entry 1 Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,011 Read SEC document |
| March 15, 2019 Filed May 28, 2020 01:28 UTC Amendment |
Fraser CraigDirector · President and CEO
|
Tax withholdingCommon Stock | 18,023 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-011862 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,337 Read SEC document |
| March 15, 2019 Filed May 28, 2020 01:31 UTC Amendment |
Tattory John ASVP & CFO
|
Tax withholdingCommon Stock | 9,708 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-011864 · rdgdoc.xml · nonDerivative · entry 1 Tattory John A · CIK 0001499834 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,495 Read SEC document |
| March 15, 2019 Filed May 28, 2020 01:30 UTC Amendment |
Simonson StevenSVP, Chief Medical Officer
|
Tax withholdingCommon Stock | 8,979 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-011863 · rdgdoc.xml · nonDerivative · entry 1 Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,856 Read SEC document |
| February 07, 2019 Filed Feb 12, 2019 02:36 UTC |
Tattory John ASVP & CFO
|
GrantCommon Stock | 22,078 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-002272 · rdgdoc.xml · nonDerivative · entry 2 Tattory John A · CIK 0001499834 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,203 F1 · kind: The two reported transactions relate to the cancellation of a portion of the restricted stock unit (RSU) award granted on November 1, 2017 and vesting in two equal installments, and the immediate re-issuance of replacement RSUs on substantially the same economic terms. Read SEC document |
| February 07, 2019 Filed Feb 12, 2019 02:36 UTC |
Tattory John ASVP & CFO
|
Disposition to issuerCommon Stock | 22,078 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-002272 · rdgdoc.xml · nonDerivative · entry 1 Tattory John A · CIK 0001499834 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,125 F1 · kind: The two reported transactions relate to the cancellation of a portion of the restricted stock unit (RSU) award granted on November 1, 2017 and vesting in two equal installments, and the immediate re-issuance of replacement RSUs on substantially the same economic terms. Read SEC document |
| February 07, 2019 Filed Feb 12, 2019 02:35 UTC |
Simonson StevenSVP, Chief Medical Officer
|
GrantCommon Stock | 23,514 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-002271 · rdgdoc.xml · nonDerivative · entry 2 Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,835 F1 · kind: The two reported transactions relate to the cancellation of a portion of the restricted stock unit (RSU) award granted on November 1, 2017 and vesting in two equal installments, and the immediate re-issuance of replacement RSUs on substantially the same economic terms. Read SEC document |
| February 07, 2019 Filed Feb 12, 2019 02:35 UTC |
Simonson StevenSVP, Chief Medical Officer
|
Disposition to issuerCommon Stock | 23,514 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-002271 · rdgdoc.xml · nonDerivative · entry 1 Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,321 F1 · kind: The two reported transactions relate to the cancellation of a portion of the restricted stock unit (RSU) award granted on November 1, 2017 and vesting in two equal installments, and the immediate re-issuance of replacement RSUs on substantially the same economic terms. Read SEC document |
| February 07, 2019 Filed Feb 12, 2019 02:33 UTC |
Fraser CraigDirector · President and CEO
|
Tax withholdingCommon Stock | 16,404 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-002270 · rdgdoc.xml · nonDerivative · entry 3 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,131 Read SEC document |
| February 07, 2019 Filed Feb 12, 2019 02:33 UTC |
Fraser CraigDirector · President and CEO
|
GrantCommon Stock | 98,810 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-002270 · rdgdoc.xml · nonDerivative · entry 2 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,535 F1 · kind: The two reported transactions relate to the cancellation of a restricted stock unit (RSU) award originally granted on November 1, 2017, and the immediate re-issuance of replacement RSUs and common stock on substantially the same economic terms. Read SEC document |
| February 07, 2019 Filed Feb 12, 2019 02:33 UTC |
Fraser CraigDirector · President and CEO
|
Disposition to issuerCommon Stock | 83,257 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-19-002270 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 725 F1 · kind: The two reported transactions relate to the cancellation of a restricted stock unit (RSU) award originally granted on November 1, 2017, and the immediate re-issuance of replacement RSUs and common stock on substantially the same economic terms. Read SEC document |
| February 07, 2019 Filed May 28, 2020 01:22 UTC Amendment |
Fraser CraigDirector · President and CEO
|
Tax withholdingCommon Stock | 18,175 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-011861 · rdgdoc.xml · nonDerivative · entry 3 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,360 Read SEC document |
| February 07, 2019 Filed May 28, 2020 01:22 UTC Amendment |
Fraser CraigDirector · President and CEO
|
GrantCommon Stock | 98,810 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-011861 · rdgdoc.xml · nonDerivative · entry 2 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,535 F1 · kind: The two reported transactions relate to the cancellation of a restricted stock unit (RSU) award originally granted on November 1, 2017, and the immediate re-issuance of replacement RSUs and common stock on substantially the same economic terms. Read SEC document |
| February 07, 2019 Filed May 28, 2020 01:22 UTC Amendment |
Fraser CraigDirector · President and CEO
|
Disposition to issuerCommon Stock | 83,257 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-20-011861 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 725 F1 · kind: The two reported transactions relate to the cancellation of a restricted stock unit (RSU) award originally granted on November 1, 2017, and the immediate re-issuance of replacement RSUs and common stock on substantially the same economic terms. Read SEC document |
| December 28, 2018 Filed Jan 2, 2019 22:20 UTC |
Tattory John ASVP & CFO
|
Tax withholdingCommon Stock | 8,007 | $5.00 | $40,035.00 |
DisclosureSEC source: 0001437749-19-000100 · rdgdoc.xml · nonDerivative · entry 1 Tattory John A · CIK 0001499834 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,203 Read SEC document |
| December 28, 2018 Filed Jan 2, 2019 22:13 UTC |
Simonson StevenSVP, Chief Medical Officer
|
Tax withholdingCommon Stock | 7,402 | $5.00 | $37,010.00 |
DisclosureSEC source: 0001437749-19-000098 · rdgdoc.xml · nonDerivative · entry 1 Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,835 Read SEC document |
| December 28, 2018 Filed Jan 2, 2019 22:10 UTC |
Fraser CraigDirector · President and CEO
|
Tax withholdingCommon Stock | 15,553 | $5.00 | $77,765.00 |
DisclosureSEC source: 0001437749-19-000096 · rdgdoc.xml · nonDerivative · entry 1 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,982 Read SEC document |
| December 24, 2018 Filed Dec 28, 2018 00:12 UTC |
Fraser CraigDirector · President and CEO
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 1,265,717 | $0.00 Strike: $4.22 | $0.00 |
DisclosureSEC source: 0001437749-18-022672 · rdgdoc.xml · derivative · entry 3 Fraser Craig · CIK 0001557420 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,265,717 Underlying: Common Stock · 1,265,717 shares Expires 2028-12-24 F2 · derivative.exercise_date: This employee stock option shall vest in a series of three successive, annual installments beginning with the first anniversary of the grant date. Read SEC document |
| December 24, 2018 Filed Dec 28, 2018 00:17 UTC |
Simonson StevenSVP, Chief Medical Officer
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 738,335 | $0.00 Strike: $4.22 | $0.00 |
DisclosureSEC source: 0001437749-18-022675 · rdgdoc.xml · derivative · entry 3 Simonson Steven · CIK 0001624401 · SVP, Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 738,335 Underlying: Common Stock · 738,335 shares Expires 2028-12-24 F2 · derivative.exercise_date: This employee stock option shall vest in a series of three successive, annual installments beginning with the first anniversary of the grant date. Read SEC document |
| December 24, 2018 Filed Dec 28, 2018 00:28 UTC |
Templeton Mary B EsqSVP, Gen Counsel & Corp Sec
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 421,906 | $0.00 Strike: $4.22 | $0.00 |
DisclosureSEC source: 0001437749-18-022680 · rdgdoc.xml · derivative · entry 3 Templeton Mary B Esq · CIK 0001530067 · SVP, Gen Counsel & Corp Sec 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 421,906 Underlying: Common Stock · 421,906 shares Expires 2028-12-24 F3 · derivative.exercise_date: This employee stock option shall vest in a series of three successive, annual installments beginning with the first anniversary of the grant date. Read SEC document |
| December 24, 2018 Filed Dec 28, 2018 00:19 UTC |
Tattory John ASVP & CFO
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 738,335 | $0.00 Strike: $4.22 | $0.00 |
DisclosureSEC source: 0001437749-18-022677 · rdgdoc.xml · derivative · entry 3 Tattory John A · CIK 0001499834 · SVP & CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 738,335 Underlying: Common Stock · 738,335 shares Expires 2028-12-24 F3 · derivative.exercise_date: This employee stock option shall vest in a series of three successive, annual installments beginning with the first anniversary of the grant date. Read SEC document |
| December 24, 2018 Filed Dec 27, 2018 23:30 UTC |
PEACOCK BRUCEDirector
|
GrantStock Option (Right to Buy) · Derivative | 32,000 | $0.00 Strike: $4.22 | $0.00 |
DisclosureSEC source: 0001437749-18-022668 · rdgdoc.xml · derivative · entry 2 PEACOCK BRUCE · CIK 0001228459 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,000 Underlying: Common Stock · 32,000 shares Expires 2028-12-24 F2 · derivative.exercise_date: Stock option shall fully vest upon the first anniversary of the grant date or as provided under the Award Agreement and 2011 Plan. Read SEC document |
| December 24, 2018 Filed Dec 27, 2018 23:30 UTC |
PEACOCK BRUCEDirector
|
GrantCommon Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-022668 · rdgdoc.xml · nonDerivative · entry 1 PEACOCK BRUCE · CIK 0001228459 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,160 F1 · shares: Restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock. The RSUs shall fully vest upon the first anniversary of the grant date or as provided under the Award Agreement and 2011 Plan. Read SEC document |
| December 24, 2018 Filed Dec 27, 2018 23:27 UTC |
Joseph Mahady MDirector
|
GrantStock Option (Right to Buy) · Derivative | 32,000 | $0.00 Strike: $4.22 | $0.00 |
DisclosureSEC source: 0001437749-18-022666 · rdgdoc.xml · derivative · entry 2 Joseph Mahady M · CIK 0001187302 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,000 Underlying: Common Stock · 32,000 shares Expires 2028-12-24 F2 · derivative.exercise_date: Stock option shall fully vest upon the first anniversary of the grant date or as provided under the Award Agreement and 2011 Plan. Read SEC document |
| December 24, 2018 Filed Dec 27, 2018 23:27 UTC |
Joseph Mahady MDirector
|
GrantCommon Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-022666 · rdgdoc.xml · nonDerivative · entry 1 Joseph Mahady M · CIK 0001187302 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,160 F1 · shares: Restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock. The RSUs shall fully vest upon the first anniversary of the grant date or as provided under the Award Agreement and 2011 Plan. Read SEC document |
| December 24, 2018 Filed Dec 27, 2018 23:23 UTC |
Leone John RDirector
|
GrantStock Option (Right to Buy) · Derivative | 32,000 | $0.00 Strike: $4.22 | $0.00 |
DisclosureSEC source: 0001437749-18-022664 · rdgdoc.xml · derivative · entry 2 Leone John R · CIK 0001301047 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,000 Underlying: Common Stock · 32,000 shares Expires 2028-12-24 F2 · derivative.exercise_date: Stock option shall fully vest upon the first anniversary of the grant date or as provided under the Award Agreement and 2011 Plan. Read SEC document |
| December 24, 2018 Filed Dec 27, 2018 23:23 UTC |
Leone John RDirector
|
GrantCommon Stock | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-18-022664 · rdgdoc.xml · nonDerivative · entry 1 Leone John R · CIK 0001301047 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,212 F1 · shares: Restricted stock units (RSUs), which represent a contingent right to receive the equivalent number of shares of common stock. The RSUs shall fully vest upon the first anniversary of the grant date or as provided under the Award Agreement and 2011 Plan. Read SEC document |
| December 21, 2018 Filed Dec 26, 2018 21:30 UTC Amendment |
Lee's Pharmaceutical Holdings Ltd10% owner
|
PurchaseSeries G Warrants · Derivative | 597,610 | $0.00 Strike: $4.05 | $0.00 |
DisclosureSEC source: 0001213900-18-017872 · ownership.xml · derivative · entry 5 Lee's Pharmaceutical Holdings Ltd · CIK 0001722778 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 1,042,224 Underlying: Common Stock · 597,610 shares Expires 2023-12-24 F2 · security: Effective December 21, 2018 the Issuer entered into a Securities Purchase Agreement with certain investors ("Investors") (the "Financing") whereby LPH II Investments Limited ("LPH II"), a wholly owned subsidiary of the Reporting Person, converted $6.0 million of existing debt obligations in the Financing on the same terms as the Investors. The Issuer issued and LPH II received (i) 1,810,938 shares of Common Stock (ii) 307,859 Series F Warrants to purchase 307,859 shares of Common Stock at an exercise price of $3.68 per share and (iii) 597,610 Series G Warrants (with the Series F Warrants the "Financing Warrants") to purchase 597,610 shares of Common Stock at an exercise price of $4.05 per share. Accordingly, LPH II is deemed to beneficially own (i)1,810,938 shares of Common Stock (ii) 307,859 shares of Common Stock issuable upon exercise of the Series F Warrants and (iii) 597,610 shares of Common Stock issuable upon exercise of the Series G Warrants. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.